According to FINRA records, Ronald A. Frumkes, a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute and two prior final customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In pending FINRA Case 15-02974, a customer alleges damages of $600,000 for gross negligence, breach of fiduciary duty, and unsound advice leading to losses in the account. The time frame is 5/29/2014-10/2014.
Frumkes has been employed at Wunderlich Securities since 12/2012. Prior to that he worked for Sanders Morris Harris Inc.
If you have questions about an account handled by Ronald A. Frumkes , call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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